Susan L. Surminsky

MUTUAL SECURITIES

Chico, CA 95928

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CRD#: 2691036

Professional summary

Susan Louise Surminsky is a registered financial professional currently at MUTUAL SECURITIES, INC. located in Chico, California.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1996. Susan has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Louise Surminsky's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 2, 2016 - Present

MUTUAL SECURITIES, INC.

Office #1: 426 Broadway Suite 206, Chico, CA 95928

CRD#: 13092

Chico, CA

Past

July 3, 2007 - December 5, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

CHICO, CA

Past

March 17, 2004 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

CHICO, CA

Past

March 13, 2000 - May 18, 2004

FIRST SECURITIES USA, INC.

CRD#: 39986

IRVINE, CA

Past

February 27, 1997 - September 10, 1999

FIRST ASSOCIATED SECURITIES GROUP, INC.

CRD#: 20597

CHICO, CA

Past

January 1, 1996 - December 31, 1996

FIRST ASSOCIATED SECURITIES GROUP, INC.

CRD#: 20597

CHICO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(12/2/2016)

California
(12/2/2016)

Colorado
(12/2/2016)

Florida
(12/2/2016)

Georgia
(12/2/2016)

Illinois
(12/2/2016)

Maine
(3/21/2017)

Montana
(12/5/2016)

Nevada
(12/2/2016)

New Mexico
(12/2/2016)

Oregon
(12/2/2016)

Pennsylvania
(1/5/2017)

Texas
(12/2/2016)

Vermont
(2/24/2025)

Washington
(12/2/2016)

Exams

State Security Law Exam

Series 63

Date: 3/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/11/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MUTUAL SECURITIES, INC.

COWLES, SABOL & COMPANY, INCORPORATED | MUTUAL SECURITIES, INC. OF CALIFORNIA | MUTUAL SECURITIES, INC. | MUTUAL SECURITIES INC., OF CALIFORNIA | MUTUAL SECURITIES INC. OF CALIFORNIA

CRD#: 13092 / SEC#: 801-68443, 8-28580

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

807-a Camarillo Springs Road, Camarillo, CA 93012

Mailing Address

P.o. Box 2864, Camarillo, CA 93011

Phone number

(805) 764-6730

Established

California since 02/04/1982

Firm type

Corporation

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MUTUAL GROUP, INC.	CORPORATION
CLAUSSEN, DAWN MARIE	CHIEF OPERATING OFFICER	5445747
DAMIANI, NICHOLAS ARTHUR	CHIEF ADMINISTRATIVE OFFICER	5669491
JASPER, AARON T	CHIEF EXECUTIVE OFFICER	5016734
SABOL, RYAN STEPHEN	MANAGING PRINCIPAL	4419285
SHANNON, DEBRA DAWN	CHIEF COMPLIANCE OFFICER	5021297
VOSS, MITCHELL CRAIG	CHAIRMAN	1029100

Disclosures

Regulatory Event	2
Arbitration	8

Red Flags

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Firm Stability Insights

Susan L. Surminsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Louise Surminsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

BROOKSTREET SECURITIES CORPORATION

FIRST SECURITIES USA, INC.

FIRST ASSOCIATED SECURITIES GROUP, INC.

FIRST ASSOCIATED SECURITIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/27/1995

Series 24

Date: 8/11/2000

FINRA

Current Firm

MUTUAL SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MUTUAL SECURITIES, INC.

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